SEC Form 4 · accession 0001104659-15-025615

ENVESTNET, INC. · ENV

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Judson Bergman

Officer — Chief Executive Officer · Director

Period of report

Apr 1, 2015

Accepted (ET)

Apr 2, 2015 · 6:18 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001337619

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock^F2	Apr 1, 2015	M	983	$5.00	A	595,197	D
Common Stock^F2,F3	Apr 1, 2015	S	983	$53.68	D	594,214	D
Common Stock^F2	Apr 1, 2015	M	17,557	$5.00	A	611,771	D
Common Stock^F2,F4	Apr 1, 2015	S	17,557	$54.42	D	594,214	D
Common Stock^F2	Apr 1, 2015	M	11,460	$5.00	A	605,674	D
Common Stock^F2,F5	Apr 1, 2015	S	11,460	$55.41	D	594,214	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to Buy)^F1,F6	$5.00	Apr 1, 2015	M	30,000	D	Feb 1, 2006	Nov 14, 2015	Common Stock	30,000	40,000	D
Employee Stock Option (Right to Buy)^F7	$7.50	holding	—	—	—	Apr 26, 2007	Apr 26, 2017	Common Stock	200,000	200,000	D
Employee Stock Option (Right to Buy)^F6	$7.50	holding	—	—	—	Apr 30, 2009	Apr 30, 2018	Common Stock	36,000	36,000	D
Employee Stock Option (Right to Buy)^F6	$7.15	holding	—	—	—	May 15, 2010	May 15, 2019	Common Stock	15,000	15,000	D
Employee Stock Option (Right to Buy)^F8	$9.00	holding	—	—	—	Jul 28, 2011	Jul 28, 2020	Common Stock	376,000	376,000	D
Employee Stock Option (Right to Buy)^F7	$12.55	holding	—	—	—	Feb 28, 2012	Feb 28, 2021	Common Stock	10,000	10,000	D
Employee Stock Option (Right to Buy)^F7	$12.45	holding	—	—	—	Feb 28, 2013	Feb 28, 2022	Common Stock	7,951	7,951	D
Employee Stock Option (Right to Buy)^F7	$15.34	holding	—	—	—	Feb 28, 2014	Feb 28, 2023	Common Stock	9,408	9,408	D
Employee Stock Option (Right to Buy)^F7	$41.84	holding	—	—	—	Feb 28, 2015	Feb 28, 2024	Common Stock	20,300	20,300	D
Employee Stock Option (Right to Buy)^F7	$53.88	holding	—	—	—	Feb 29, 2016	Feb 28, 2025	Common Stock	17,400	17,400	D
Restricted Stock Award^F9,F10,F11	—	holding	—	—	—	Feb 29, 2016	Feb 29, 2016	Common Stock	1,212	1,212	D
Restricted Stock Award^F9,F10,F11	—	holding	—	—	—	Feb 29, 2016	Feb 28, 2017	Common Stock	8,400	8,400	D
Restricted Stock Award^F9,F10,F11	—	holding	—	—	—	Feb 29, 2016	Feb 28, 2018	Common Stock	11,600	11,600	D

Explanation of responses

F1A total of 170,000 options were granted on 11/14/2005. 70,000 options were vested and exercisable as of April 1, 2015.
F10Each restricted award represents the contingent right to receive one share of common stock upon the vesting of the unit.
F11This restricted stock award vests in three equal installments annually beginning on the first anniversary of the date of the grant of restricted stock.
F2Option exercise and sale pursuant to a 10b5-1 plan.
F3The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $53.541 to $53.96 inclusive.
F4The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $54.00 to $54.92, inclusive.
F5The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $55.041 to $55.79, inclusive.
F6Original option grant vests in four installments beginning on February 1, 2006 and the remaining three installments on May 31 as listed in the "Date Exercisable" column.
F7Original option grant vests in three installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
F8Original option grant vests in four installments beginning on the first anniversary of the date of grant as listed in the "Date Exercisable" column.
F9Each restricted stock award is the economic equivalent of one share of Envestnet, Inc. Common Stock